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<H1 ALIGN=CENTER>Bureaucratic Structure and Economic Performance:<BR>
Codebook 6/23/97</H1>

<H2>Introduction:</H2>

<P>This codebook explains the coding of the
variables in the data set produced by the Bureaucratic Structure and Economic
Performance project. After the country name and country abbreviation, the
next 29 variables (q101-sq20) are derived from the questionnaires filled
out by the 126 country experts who participated in this project. (The original
questionnaire is reproduced as the Appendix to &quot;Bureaucratic Structure
and Bureaucratic Performance in Less Developed Countries,&quot; by James
E. Rauch and Peter B. Evans.) For convenience we have also included in
the data set on this web site variables (sq2_rc-inv6570) used in &quot;Bureaucracy
and Growth: A Cross-National Analysis of the Effects of 'Weberian' State
Structures on Economic Growth,&quot; by Peter B. Evans and James E. Rauch,
and variables (corrupt1-ethfrac) used in the Rauch and Evans paper already
cited. For descriptions of these variables see the respective papers.</P>

<H2>Overview:</H2>

<P>Narrative and Standard Answers: In
order to make comparisons across countries more feasible we have provided
some standard alternative answers to each question, but we are well aware
that these standard answers can't capture the full complexities of real
bureaucratic structures. Therefore, we hope that in addition to indicating
which standard alternative comes closest to describing your case, you will
offer a separate, complementary narrative discussion of how the state bureaucracies
you are describing look with regard to these issues. Time Period: We are
interested primarily in what these bureaucracies looked like in the recent
past roughly 1970 - 1990. If there have been important changes within this
period, or between this period and the present please indicate the sub-period
to which your answers apply. We would also appreciate any commentary you
could add on changes over time in your narrative responses. </P>

<H2>Core Economic Agencies:</H2>

<P><FONT SIZE=+1>1. List the four
most important agencies in the central state bureaucracy order of their
power to shape overall economic policy. (e.g. Ministry of Finance, Ministry
of Industry and/or Trade and/or Commerce, Planning Board, agency or Ministry)?</FONT></P>

<P>To aggregate these responses for the country-level
data, nine variables were created:</P>

<P>Variable Names:</P>

<UL>
<P>Q101 = President's office, Prime Minister's
office (or Royal Palace)<BR>
Q102 = Ministry of Finance <BR>
Q103 = Central Bank<BR>
Q104 = Ministry of Economics (Economics and Finance, Economic Affairs,
National Economy, etc.) <BR>
Q105 = Planning Ministry, Secretariat, Commission or Board (Development
Board or Council or Development Bank)<BR>
Q106 = Ministry of Trade, Ministry of Commerce, Ministry of Industry (Trade
and Industry, Industry and Commerce, etc.)<BR>
Q107 = Ministry of Defense, Military<BR>
Q108 = Monetary Authority<BR>
Q109 = Other (Ministries of Public Works, Mines and Energy, Agriculture,
Privatization, Communication, Social Development, Foreign Investment Committee,
etc.)</P>
</UL>

<P>Codes:</P>

<UL>
<P>0 = Not mentioned<BR>
1 = Listed as 2, 3, or 4 by less than half of the respondents<BR>
2 = Listed as 2, 3, or 4 by at least half of the respondents, OR, ranked
first by at least one respondent but listed as 2, 3, or 4 by less than
half of the others<BR>
3 = Ranked first at least once and listed as 2, 3, or 4 by at least half
of other respondents<BR>
4 = Ranked first by at least half of the respondents</P>
</UL>

<P><FONT SIZE=+1>2. Which of the
following descriptions best fits the role of these agencies in the formulation
of economic policy.</FONT></P>

<P>Codes: </P>

<UL>
<P>1 = many new economic policies originate
inside them.<BR>
2 = some new policies originate inside them and they are important &quot;filters&quot;
for policy ideas that come from political parties, private elites and the
chief executive, often reshaping these ideas in the process.<BR>
3 = they rarely originate new policies, but are important in turning policies
that originate in the political arena into programs that can be implemented.</P>
</UL>

<P>Variable Name: SQ2 - Country Average on Q2</P>

<P><BR WP="BR1">
<FONT SIZE=+1>3. How likely are
ideas and policies initiated by these agencies to prevail?</FONT></P>

<P>Codes: </P>

<UL>
<P>1 = no more likely than ideas coming out
of other parts of the state bureaucracy.<BR>
2 = quite likely, even in the face of opposition from other parts of the
bureaucracy, as long as the chief executive is neutral or supportive. <BR>
3 = under the circumstances above and also sometimes even in the face of
opposition from the chief executive.</P>
</UL>

<P>Variable Name: SQ3 - Country Average on Q3</P>

<H2>Recruitment and Careers:</H2>

<P>[In answering the following questions, assume
that &quot;higher officials&quot;, refers to those who hold roughly the
top 500 positions in the core economic agencies you have discussed above.]</P>

<P><FONT SIZE=+1>4. Approximately
what proportion of the higher officials in these agencies enter the civil
service via a formal examination system?</FONT></P>

<P>Codes: </P>

<UL>
<P>1 = less than 30%<BR>
2 = 30 - 60%<BR>
3 = 60% -90%<BR>
4 = more than 90%</P>
</UL>

<P>Variable Name: SQ4 - Country Average on Q4</P>

<P><FONT SIZE=+1>5. Of those that do
<U>not</U> enter via examinations, what proportion have university or post-graduate
degrees.</FONT></P>

<P>Codes: </P>

<UL>
<P>1 = less than 30%<BR>
2 = 30 - 60%<BR>
3 = 60% -90%<BR>
4 = more than 90%</P>
</UL>

<P>Variable Name: SQ5 - Country Average on Q5</P>

<P><FONT SIZE=+1>6. Roughly how many
of the top levels in these agencies are political appointees (e.g. appointed
by the President or Chief Executive) </FONT></P>

<P>Codes: </P>

<UL>
<P>1 = none. <BR>
2 = just agency chiefs.<BR>
3 = agency chiefs and vice-chiefs.<BR>
4 = all of top 2 or 3 levels.</P>
</UL>

<P>Variable Name: SQ6 - Country Average on Q6</P>

<P><FONT SIZE=+1>7. Of political appointees
to these positions, what proportion are likely to already be members of
the higher civil service?</FONT></P>

<P>Codes:</P>

<UL>
<P>1 = less than 30%<BR>
2 = 30 - 70%<BR>
3 = more than 70%</P>
</UL>

<P>Variable Name: SQ7 - Country Average on Q7</P>

<P><FONT SIZE=+1>8. Of those promoted
to the top 2 or 3 levels in these agencies (whether or not they are political
appointees), what proportion come from within the agency itself or (its
associated ministry(ies) if the agency is not itself a ministry)? </FONT></P>

<P>Codes: </P>

<UL>
<P>1 = less than 50%<BR>
2 = 50 - 70%<BR>
3 = 70% - 90%<BR>
4 = over 90%</P>
</UL>

<P>Variable Name: SQ8 - Country Average on Q8</P>

<P><FONT SIZE=+1>9. Are the incumbents
of these top positions likely to be moved to positions of lesser importance
when political leadership changes? </FONT></P>

<P>Codes: </P>

<UL>
<P>1 = almost always<BR>
2 = usually<BR>
3 = sometimes<BR>
4 = rarely</P>
</UL>

<P>Variable Name: SQ9 - Country Average on Q9</P>

<P><FONT SIZE=+1>10. What is roughly
the modal number of years spent by a typical higher level official in one
of these agencies during his career?</FONT></P>

<P>Codes: </P>

<UL>
<P>1 = 1-5 years<BR>
2 = 5-10 years<BR>
3 = 10 -20 years<BR>
4 = entire career</P>
</UL>

<P>Variable Name: SQ10 - Country Average on
Q10</P>

<P><FONT SIZE=+1>11. What prospects for
promotion can someone who enters one of these agencies through a higher
civil service examination early in his/her career reasonably expect? Assuming
that there are at least a half dozen steps or levels between and entry-level
position and the head of the agency, how would you characterize the possibilities
for moving up in the agency? [ NB. more than one may apply.]</FONT></P>

<OL>
<LI>in most cases, will move up one or two
levels but no more.
<LI>in most cases, will move up three or four levels, but unlikely to reach
the level just below political appointees.
<LI>if performance is superior, moving up several levels to the level just
below political appointees is not an unreasonable expectation.
<LI>in at least a few cases, could expect to move up several levels within
the civil service and then move up to the very top of the agency on the
basis of political appointments.
</OL>

<P>Codes: </P>

<UL>
<P>=2, if 3 and/or 4 are circled, but not 1
and not 2<BR>
=1, otherwise</P>
</UL>

<P>Variable Name: SQ11d - Country Average on
Q11d</P>

<P><FONT SIZE=+1>12. How common
is it for higher officials in these agencies to spend substantial proportions
of their careers in the private sector, interspersing private and public
sector activity?</FONT></P>

<P>Codes: </P>

<UL>
<P>1 = normal<BR>
2 = frequent but not modal<BR>
3 = unusual<BR>
4 = almost never</P>
</UL>

<P>Variable Name: SQ12 - Country Average on
Q12</P>

<P><FONT SIZE=+1>13. How common is it
for higher officials in these agencies to have significant post-retirement
careers in the private sector?</FONT></P>

<P>Codes:</P>

<UL>
<P>1 = normal<BR>
2 = frequent but not modal<BR>
3 = unusual<BR>
4 = almost never</P>
</UL>

<P>Variable Name: SQ13 - Country Average on
Q13</P>

<H2>Salaries:</H2>

<P><FONT SIZE=+1>14. How would you estimate
the salaries (and perquisites, not including bribes or other extra-legal
sources of income) of higher officials in these agencies relative to those
of private sector managers with roughly comparable training and responsibilities?
</FONT></P>

<P>Codes:</P>

<UL>
<P>1 = less than 50%<BR>
2 = 50 - 80%<BR>
3 = 80% - 90%<BR>
4 = Comparable<BR>
5 = Higher </P>
</UL>

<P>Variable Name: SQ14 - Country Average on
Q14</P>

<P><FONT SIZE=+1>15. If bribes
and other extra-legal perquisites are included what would the proportion
be?</FONT></P>

<P>Codes: </P>

<UL>
<P>1 = less than 50%<BR>
2 = 50 - 80%<BR>
3 = 80% - 90%<BR>
4 = Comparable<BR>
5 = Higher </P>
</UL>

<P>Variable Name: SQ15 - Country Average on
Q15</P>

<P><FONT SIZE=+1>16. Over the period
in question (roughly 1970-1990) what was the movement of legal income in
these agencies relative to salaries in the private sector? </FONT></P>

<P>Codes: </P>

<UL>
<P>1 = declined dramatically. <BR>
2 = declined slightly.<BR>
3 = maintained the same position.<BR>
4 = improved their position.</P>
</UL>

<P>Variable Name: SQ16 - Country Average on
Q16</P>

<H2>Civil Service Exams:</H2>

<P>[NB: These questions refer to the higher
Civil Service more broadly, not just to the top 500 officials in the core
agencies.]</P>

<P><FONT SIZE=+1>17. Since roughly what
date have civil service examinations been in place?______</FONT></P>

<P>Codes:</P>

<UL>
<P>1 = Pre-1900<BR>
2 = 1900-1949<BR>
3 = 1950-1969<BR>
4 = 1970-1979<BR>
5 = 1980-1989<BR>
6 = 1990-</P>
</UL>

<P>Variable Name: SQ17a - Country Average on
Q17A</P>

<P><FONT SIZE=+1>In the aggregated country-level
data set, an additional variable was added, based on experts' answers to
Q17 and Q18:</FONT></P>

<P>Variable Name: Q17B</P>

<P>Codes: 0 = No civil service exams, or exams
are of trivial importance</P>

<UL>
<P>1 = Ambiguous based on experts' responses<BR>
2 = Civil service exams are an important component of entry to the bureaucracy</P>
</UL>

<P><FONT SIZE=+1>18. Roughly what proportion
of those who take the higher civil service exam pass?</FONT></P>

<P>Codes:</P>

<UL>
<P>1 = less than 2%<BR>
2 = 2-5%<BR>
3 = 6 - 10%<BR>
4 = 10% -30%<BR>
5 = 30-50%<BR>
6 = more than 50%</P>
</UL>

<P>Variable Name: SQ18 - Country average on
Q18</P>

<P><FONT SIZE=+1>19. Among graduates
of the country's most elite university(ies), is a public sector career
considered:</FONT></P>

<P>Codes:</P>

<UL>
<P>1 = the best possible career option.<BR>
2 = the best possible option for those whose families are not already owners
of substantial private enterprises.<BR>
3 = the best option for those who are risk averse.<BR>
4 = definitely a second best option relative to a private sector career.</P>
</UL>

<P>Variable Name: SQ19 - Country Average on
Q19</P>

<P><FONT SIZE=+1>20. Among members of
the educated middle class who are not in a position to attend the most
elite universities is a public sector career considered:</FONT></P>

<P>Codes:</P>

<UL>
<P>1 = the best possible career option.<BR>
2 = the best possible option for those whose families are not already owners
of substantial private enterprises.<BR>
3 = the best option for those who are risk averse.<BR>
4 = definitely a second best option relative to a private sector career.</P>
</UL>

<P>Variable Name: SQ20 - Country Average on
Q20</P>

<P>
<HR WIDTH="100%"></P>

<P>The individual responses to the above questions
were aggregated to create a country-level data set, in which each country
received a score equal to the average of the responses of all experts answering
each question for that country.</P>

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